Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2024-02-21 00:00:00 ET · period of report 2024-02-16 · accession 0001140361-24-008890 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-02-21 | 2024-02-16 | RCKT | Wilson Martin | GC | A - Grant | $0.00 | +16.6K | 22.8K | +271% | $0 |
| D | 2024-02-21 | 2024-02-16 | RCKT | Wilson Martin | GC | S - Sale | $29.84 | -3,576 | 6,136 | -37% | -$106.7K |
| D | 2024-02-21 | 2024-02-16 | RCKT | Wilson Martin | GC | A - Grant | $0.00 | +49.1K | 49.1K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-02-16 | A | A | 16,644 | $0.00 | 22,780 | D | — | — | (F4) Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on February 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years. (F1) The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement"). |
| 2 | Common | Common Stock | 2024-02-16 | S | D | 3,576 | $29.84 | 6,136 | D | — | — | (F1) The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement"). (F3) The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement. (F2) The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. |
| 3 | Derivative | Stock Option (Right to Buy) | 2024-02-16 | A | A | 49,091 | $0.00 | 49,091 | D | $30.01 · — to 2034-02-16 | 49,091 Common Stock | (F5) This option represents a right to purchase a total of 49,091 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer. |